Some brokerages know what their new annuity commissions will be in response to the regulation. Why are they staying quiet? <b><i>(More: <a href="http://www.investmentnews.com/section/fiduciary-faq" target="_blank">The top FAQs on the DOL fiduciary rule</a>)</i></b>
Agencies brought more cases against registered advisers than unregistered entities, and certain products featured in many of them.
Texes securities commissioner claims Jens Pinkernell charged clients nearly $47,000 more than he should have over a three-year period.
Peter Kohli, the CEO of DMS Advisors, allegedly stole money from investors as the funds neared collapse.
Some fund share classes could be on the way out, according to a new report from S&P Global Market Intelligence.
Software firm is boosting compliance functions of its financial planning platform. <b><i>(More: <a href="http://www.investmentnews.com/section/fiduciary-focus " target="_blank">The most up-to-date information on the DOL fiduciary rule</a>)</i></b>
Plus: DOL rule puts advisers between clients and target-date funds, big dividend yields for those with a strong stomach, and companies lean toward auto-IRAs
Mary Jo White says the commission is reviewing a staff proposal and could vote to move ahead with independent audits.
Firms may be losing the battle against the Labor Department's fiduciary rule for retirement advice, but they are still framing the debate around it &mdash; to the agency's chagrin.
Former head of two microcaps worked with boiler room operator whose agents pressured investors and promised them lucrative profits.
B-Ds and other annuity distributors are asking insurers for product specifications with an eye toward compliance with the new regulation.
Finra has been unable to find a way to ensure investors get paid what they are owed.
The adviser and radio show host had challenged the right of the SEC to use administrative law judges to hear cases such as his.
Investment adviser and talk radio host Ray Lucia Sr., whom the SEC had fined and barred from the industry for allegedly misrepresenting a retirement investment strategy may have received a boost in the form of a split decision on his appeal.
In many cases, financial advisers feel more strongly about keeping a candidate out of the White House than voting one in.
New regulatory environment calls for a more holistic evaluation process.
Plus: Trump would dump Yellen, bracing for the next housing bubble, and 401(k) realities that should not be ignored
